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Circular 173/09

1. Contirmation hereby confirm that am the ovener of this user account hereby declare that have read and acknowledged the Information Memorandum andthe Terms of Use Any information provided in your application will be used for user requested semices only confirm my personal reliability all hereby assure that no legal proceedings or monetary fine proceedings on charges of crime or offence against sections 261 263a 2644 265b 271 274 283 263d 299 of 300 of the German Penal Code Stratgesetebuch or violation of the German Banking Act C Kreditwesengeset the German Securities Trading Act CWertpapierhandelsgese the German Stock Exchange Act Borengese the German Sate Custody Act CDepotgeset the German Money Laundering Act Seldmdschegeset of the German Investment Act CInvestmentgeset 9 in their respectively valid versions are undenway against me bil hereby assure that I have not been finally convicted of such actions nor has a final administrative order imposing a fine been issued against me cll hereby assure that ora company managed by me am not and have not been involved as debtor in insolvency proceedings or in proceedings to obtain the filing of an affidavit or comparable proceedings Cancel Save T Print as PDF Pic 3 Confirmation of Legal Requirements Personal Data The applicant s personal contact information is available in the system from the registration process for the Eurex
2. Pic 8 Curriculum Vitae Details Deutsche Borse AG Electronic Exchange Admission Service eXAS Application for personal Admissions Registrations 05 08 2009 Page 7 Professional Qualification In line with the applicant s admission history of previously completed examinations and system training if applicable eXAS will automatically fill in some of the following data see Pic 9 Available Qualification Admission within the last 2 years for at least 12 months Exchange Trader Examination with status Registered Passed Failed System Training with status Registered Participated Not Participated Fr Confirmation Fr Application Elev Professional Qualiticatian i Admission Administrator Mote The folowing information are required for the admission of Exchange Traders according to paragraph 3 of the Admission Regulations for Exchange Traders at the Frankfurter Wertpapierb rse and at the Eurex Deutschland Refresh Data System Data You were admitted for at least 12 month within the last 2 years Market From To Trader SA42005 HENI v You have passed the Examination within the last 2 years Mame of Qualitication Status Date Eurex Borsenhandlerprutung Passed 3 9 2009 Please click here to register f r an examination Practical Experiences Refresh Data System Data I confirm that have been actively trading f r 6 month within the last lf selected please specify below 2 Years
3. X pand into the Future eurex circular 173 09 Date Recipients Authorized by Frankfurt September 18 2009 All Trading Members of Eurex Deutschland and Eurex Zurich Thomas Lenz A N High priority A N Action required eXAS Electronic eXchange Admission Service Related Eurex Circulars 298 08 Contact Member Services amp Admission tel 49 0 69 2 11 1 16 40 Content may be most important for Attachments All departments 1 Electronic Exchange Admission Service eXAS Admission of Exchange Trader User Manual 2 Electronic Exchange Admission Service eXAS Admission Administration User Manual Summary Since December 15 2008 Eurex has offered the Electronic eXchange Admission Service eXAS in the closed member group the Members Section on its website www eurexchange com By means of this service users can apply for and process admissions registrations and de registrations of exchange traders and Qualified Back Office staff in an easy and efficient way As of December 1 2009 admission registration and de registration of exchange traders and Qualified Back Office Staff will only be possible electronically via eXAS mG urex aN Eurex Deutschland Neue Borsenstrake 1 60487 Frankfurt Main Mailing address 60485 Frankfurt Main Germany T 49 69 211 1 17 00 F 49 69 211 1 17 01 customer support eurexchange com Internet www eurexchange com Management Board Thomas Book Thomas Len
4. are not required Once data about the professional qualification of the Qualified Back Office Staff are available in the system eXAS will display some data automatically The last de registration as a Qualified Back Office Staff is not longer than 3 years ago Expertise Refresh Data system Data Your last deregistration as Market From To Gualified Back Ottice staff is not ABD EM 62009 69 20049 older than 3 years Pic 11a Expertise Already existing registration as a Qualified Back Office Staff for other companies which has an In Out Sourcing relation with the company of the Admission Administrator Eurex Clearer Examination Expertise Retresh Data System Data v You had passed the Eurex Clearer Test within the last 3 years Mame of Qualification Status Date Eurex Clearer Test Passed 4 25 2009 Pic 11b Expertise In case the future Qualified Back Office Staff does not fulfil the terms and conditions for professional qualification the Admission Administrator has the following possibility Apply for a Eurex Clearer Examination within the Training Portal of Deutsche Borse AG The link will lead you directly to the Training Portal Admission Administrators can book on behalf Expertise Retresh Data System Data Please click here to make a registration for an Eurex Clearer Test Persons designated to be registered as qualified back office staff of an admitted company have to prove appropriate qualification pursua
5. menu The right to use the new service as an Admission Administrator must be granted by the Central Coordinator or a Deputy All mandatory fields are marked with an 2 2 Creation of a New User Account As Admission Administrator you are able to create a new user account for members of your company who do not yet have access to the Eurex Member Section or the Xetra Floor Members Only area To begin navigate to the Create Application menu and proceed as follows See Pics 1a Create new User Account and 1b Create new Person Deutsche Borse AG Electronic Exchange Admission Service eXAS 4 August 2009 Admission Administration Page 2 Application an Behalf a gt 1 Please select an Exchange Trader Create Mew Person First Mame gt Last Mame gt E Mail Address VT Matthias Daub sf Alexandra Morelle lyas Atas af Arhan Mam o a Claude Bouchet Row 1 of 120 Persons with an existing registration forthe Member Section are represented with a green tick Persons without a green tick must first be registered in the Member Section for security reasons before an application may be created on their behalf To start registrations for these users simply click on the box on the left of their name then select the option below Create Portal Login and follow the registration process Once the person has verified the registration which you have initiated the green tick will appear next to
6. Continue r Pic 14 Confirmation About Authorization 4 August 2009 Page 15 After confirmation the Admission Administrators will be able to select from a complete list the person for whom they would like to terminate the admission or registration see Pic 15 Termination of Admission of an Exchange Trader Available User First Mame Last Mame Trader Trader Applicant Data First Mame Last Mame Street Number Street Supl Country Post Code City Phone Fax Trader 1 Switzerland Z rich Deutsche Borse AG Electronic Exchange Admission Service eXAS 4 August 2009 Hotlines and Support Page 16 Termination Data Cancel admission at Floor xontro v Metra q Back Cancel Submit Pic 15 Termination of Admission of an Exchange Trader Hotlines and Support For questions about the Login ID for the Eurex Member Section or Xetra Floor Members Only area please contact the Service Point Team at 49 0 69 2 11 1 78 88 or via e mail at servicepoint deutsche boerse com For any questions regarding eXAS please call the following Member Services amp Admission Teams Location Telephone E mail Zurich 41 0 58 8 54 29 42 Paris 33 0 155 27 67 67 paris admission deutsche boerse com London 44 0 207 8 62 71 65 uktraderadmission deutsche boerse com Chicago 1 312 5 44 10 00 customer support chicago deutsche boerse com Frankfurt 49 0 69 2 11 1 16 40
7. Member Section or Xetra Floor Members Only area In case the data are not current anymore the correct information needs to be forwarded to one of the Member Services amp Admission teams See page 16 You can change the Applicant Data details not the private address data yourself in My Profile on the welcome page of the Member Section Nevertheless you can continue with your application and change the data afterwards Due to regulatory requirements applicants must provide their private contact information in case their Exchange Trader admission will be cancelled by the company Because of that Deutsche B rse is obliged to send a revocation e mail to the private contact data see Pic 4 Private Contact Information Mail Authority Deutsche Borse AG Electronic Exchange Admission Service eXAS Application for personal Admissions Registrations 05 08 2009 Page 4 Fr Confirmation Application Professional Qualitication Admission Administrator Applicant Data First Mame Chicio Last Mame Trader Phone Fax Email chic 0 traderi exashank com If any of the information included on this page is incorrect please contact a Deutsche B rse Group Representative Office Private Address Oat Street Mustermann Str House Number 2 Street Supl Country United Kingdom Post Code S dra i London Phone United Kingdom 44 1235874 Fax United Kingdom 44 1235874 Please fill in your private email address t
8. Qualified Back Office Staff Help Imprint Personalize Log Off Welcome Zuri2 Admin zuri2 a p LJ DEUTSCHE B RSE GROUP Welcome Service Point Web User Administration Personnel Admission Admission Administration b Welcome Trader Overview for PAB Create Application Application Overview Admission Overview Frankfurt Stock Exchange Trader Overview Firstname Lastname Admission Eurex z OBO Overview Trader Overview Trader Termination Le Trader Xetra Trader Xetra User manuals Contact Hotlines Zurich Phone 41 58 854 29 42 Paris Phone 33 155 276767 London Phone 44 207 862 7165 Chicago Phone 1 3125441150 Frankfurt Phone 49 69 211 11640 3 Download Excel Pic 13 Admission Overview 2 7 Termination of Admission of Admitted Registered Persons The Admission Administrator may apply on behalf for the following termination requests Termination of Admission as Exchange Trader Termination of Registration as Qualified Back Office Staff Admission Administrators must first confirm their authorization before applying for a termination mandatory field see Pic 14 Confirmation About Authorization Deutsche Borse AG Electronic Exchange Admission Service eXAS Admission Administration Confirmation Eng Currenth Logged In User Lois Admin lois adminktexasbank com Confirmation hereby confirm that am the owner of this user account Cancel Save
9. Registration process In Process OS042009 Select action Fr OK FAB Xetra Pic 12 Application Overview e Application for Admission as Exchange Trader e Application for Registration as Qualified Back Office Staff The following actions can be done with an application e Reject The application disappears from the Application Overview and the applicant will be informed about the rejection via e mail e View The complete application is reviewable without making changes e Approve The application will be submitted to Deutsche B rse AG Only when the Admission Administrator has the necessary permission e Forward The application will be forwarded to another Admission Administrator for reviewing Only when the Admission Administrator has the necessary permission e Print The application will be printed in pdf format without making changes Deutsche Borse AG Electronic Exchange Admission Service eXAS 4 August 2009 Admission Administration Page 14 2 6 Admission Overview The Admission Administrator can upload daily updated excel lists of the following groups of persons e Admitted Exchange Traders e Registered Qualified Back Office Staff see Pic 13 Admission Overview Within the lists you may search select for first names and last names Within the menu structure the Admission Administrator can make a pre selection of the market Eurex or Frankfurt Stock Exchange and the type of person Exchange Trader or
10. person admission deutsche boerse com For any questions on the eXAS User ID Maintenance please contact Market Supervision Clearing Data Control at tel 49 0 69 2 11 1 24 53 or via e mail at clearingdata deutsche boerse com
11. teams For questions about the Web User Administration in the Member Section please contact the Service Point team at tel 49 0 69 211 1 78 88 or send an e mail to servicepoint eurexchange com For questions with reference to the functionality of eXAS or for additional information please call the Member Services amp Admission team at tel 49 0 69 2 11 1 16 40 Frankfurt September 18 2009 page 1 of 1 DEUTSCHE BORSE XETRA croup Electronic Exchange Admission Service eXAS Application for Personal Admissions Registrations User Manual Version 2 0 Deutsche Borse AG Electronic Exchange Admission Service eXAS Application for personal Admissions Registrations 05 08 2009 Table of Contents Page Table of Contents 1 INGHOGUCUON ca 1 2 PreCONOIU ONS iciisinciiiiniisiinimiininin Min 1 3 Electronical Application Process Admission of Exchange Traders scsscsseesseesseeneeeseens 2 3 1 Selecion OF Mier KCtSs 1adscxmecaiuexiaancadnpsticetidicanidtatadtamasnasina tua tadame tds rhonueaiaiear 2 3 2 COntliMation OfF Legal REG UTF R US oniiir T A bs Soh a Ube he be kr 3 3 3 PO ONN Bc tc eet eee ete iree ane eee oe ane ee ge eee eee ree ere ee meee ere eager ee eee 3 3 4 CSI CEVA WF OS UN ar Sreste ees te dre eat cin adect EAA SES gata dee eta nate TRANS 6 3 5 PROTESSION al QUaIMIGELON sias rdahics crtacans cxtaiias cidstaas oclaiaes aida lags adacaeaetauaaecnasias eaetiet ie 7 3 6 SUDMISSION OF TNE AD DIC ANON basta
12. their name Should a person s name not appear in the list you may select the Create New User button at the top of the table and follow the same registration process described above for a new user 2 Create Portal Login for selected Trader Create Portal Login ok Pic la Create new User Account Willkommen Service Point Eurex Information etra Information Web User Administration Internet Subscription Service ISS Technical Services My Admissions Admission Administration User Setup Right Request User Activation User Validation jaia information Conditions tor Utilization of the Member Section Existing Account If an account already exists relevant data can be preloaded Please fill the username and password or please fill the last name and PID of an existing user Username Password Last Mame PIC The Personal Identification Number is important to identify the user with the username Itis a reference number and is useful for migrating information andor preferences from an existing user to the username you are creating e g in case of the users change of company Load Data Organisation Data Organization exAS Bank Schweiz AG Personal Data Title Date of Birth gt gt gt First Mame Last Mame E Mail Sddress This e mail address will serve as username forthe personal login to the Senice point Pic 1b Create new Person Deutsche Borse AG Electronic Exchange Admi
13. to your Admission Administrator Please be informed that at first your Admission Administrator has to give the approval for your request and afterwards Deutsche B rse Group can proceed Your Reference ID is 20090226 000002 Back To Welcome Pic 22 Confirmation of Submission Once the application has been approved released by the Admission Administrator it is forwarded to Deutsche Borse AG for further processing Deutsche Borse AG Electronic Exchange Admission Service eXAS Application for personal Admissions Registrations 05 08 2009 Page 16 Hotlines and Support For any questions about the login data to the Eurex Member Section or Xetra Floor Members Only area please call the Service Point team at 49 0 69 2 11 1 78 88 or e mail to servicepoint deutsche boerse com For further questions regarding the functionality of eXAS please contact one of the following Member Services amp Admission Teams Location Telephone E mail Zurich 41 0 58 8 54 29 42 Paris 33 0 155 27 67 67 paris admission deutsche boerse com London 44 0 207 8 62 71 65 uktraderadmission deutsche boerse com Chicago 1 312 5 44 10 00 customer support chicago deutsche boerse com Frankfurt 49 0 69 2 11 1 16 40 person admission deutsche boerse com For any questions on the eXAS User ID Maintenance please call Market Supervision Clearing Data Control at 49 0 69 2 11 1 24 53 or e mail to clearingdata deutsche boe
14. 009 Pic 19 Eurex Clearer Examination Registered In case no data is shown regarding the Eurex Clearer Examinations of the applicant despite the applicant s participation there are two possibilities to retrieve this data 1 In case the Eurex Clearer Examination was booked through the Training Portal of Deutsche B rse AG https deutsche boerse com dbag dispatch en kir gdb_navigation trainingscenter 10_ Trainingscenter_Portal Home the applicant must enter the Training Portal login and password see Pic 11 Training Portal page 8 4 4 Deutsche Borse AG Electronic Exchange Admission Service eXAS Application for personal Admissions Registrations 05 08 2009 Page 14 2 If this is not the case or the applicant does no longer know the user name and password he she can also tick the following checkbox to retrieve the data at a later point in time See Pic 20 Professional Qualification Data Recall Expertise Refresh Data System Data Please click here to make a registration for an Eurex Clearer Test Persons designated to be registered as qualified back office staff of an adm company have to prove appropriate qualification pursuant to subsection 3 3 1 of the Exchange Rules for Eurex Deutschland and Eurex Z rich Exchange Rules assure that already have passed an Eurex Clearer Test within the last 3 years Pic 20 Professional Qualification Data Recall at a later point in time Please note unfortu
15. 009 Introduction Page 1 Introduction The Electronic Exchange Admission Service eXAS which can be accessed via the Eurex Member Section or the Xetra Floor Members Only area is a service for online applications modifications and terminations of Exchange Trader admissions and Qualified Back Office Staff registrations This service also includes the User ID Maintenance in which the setup modification and deletion of User IDs can be requested electronically All involved persons will receive an update of each request via e mail This document describes the administration of all processes regarding admissions of Exchange Traders at the Frankfurt Stock Exchange Floor XONTRO and Xetra and the Eurex Exchanges and processes regarding registrations of Qualified Back Office Staff Admission Administration 2 1 Terms of Use In order to use eXAS access to the Eurex Member Section or Xetra Floor Members Only area Is required Those who do not yet have a login for the Eurex Member Section or Xetra Floor Members Only area should contact their company s Central Coordinator The Central Coordinator or a deputy will be able to provide the Company Login data with which a new user can begin the personal registration for a Member Section username and password and request rights for the services that the new user desires The My Admissions service part of eXAS does not require specific rights i e all users can access the My Admissions
16. 4 Application Forms During the application process on behalf no mandatory data are required Once the future Exchange Trader or the Qualified Back Office Staff edit their application he she will be prompted to fill in mandatory fields to complete the application Depending on which application the Admission Administrator chooses the application process and required personal data differs Exchange Trader Admission on Behalf The personal contact information is already available in the system if the person has already used eXAS however the personal data may be edited if necessary See Pic 5 Personal Data of Future Exchange Trader Applicant Data First Mame den Last Name eyl EXAFR Phone Germany 49 Bg Ext 12345 Fax Ext Email deli eu1 EXAFRigexasbank de If any of the information included on this page is incorrect please contact a Deutsche B rse Group Representative Office Private Address Data street Mainzer Landstr House umber 14 Street Supl Country Germany Fost Code 52147 City Mainz Phone Germany 49 123 Ext Fax Ext Please fill in your private email address to ensure you can be informed in the event of a termination of your admission Email de eu_EXAPR private de Pic 5 Personal Data of Future Exchange Trader Deutsche Borse AG Electronic Exchange Admission Service eXAS 4 August 2009 Admission Administration Page 7 If the future Exchange Trader s habitual resi
17. You have participated in system training Mame of Qualification Status Date Eurex Systemschulung Handel Passed 5 11 2009 lf you do not have trading experience like those mentioned above please click here to register for system training q Back Cancel Continue Pic 9 Available Qualifications Deutsche Borse AG Electronic Exchange Admission Service eXAS Application for personal Admissions Registrations 05 08 2009 Page 8 Once data about professional qualifications are available they will be displayed Grayed out checkboxes with a check mark indicate that the requirements are fulfilled According to the status of the Exchange Trader examination or the system training an instruction will be shown at the left side of the table see Pic 10 Eurex Exchange Trader Examination Failed Expertise Retresh Data System Data Regarding the Admission Regulations for Exchange Trader we can not Name of Qualification Status accept your examination because the date is longer aga than 2 years or You do not have passed it Please register for a new examination Thank you very much Eurex Borsenhandlerprutung Failed Please click here to register for an examination Pic 10 Eurex Exchange Trader Examination Failed In case no data is shown regarding Exchange Trader examinations and or system training of the applicant despite the applicant s participation there are two possibilities to retrieve this data 1 If the Exchang
18. amination System Data If selected please specify below Status Date Confirmation 6302009 Mame of Qualification Metra Funktionales Member Training If you do not have trading experience like those mentioned above please click here to register for system training Pic 8 Requirements fulfilled In case the future Exchange Trader does not fulfil the requirements for professional qualification the Admission Administrator has three possibilities to take a next step See Pic 9 Requirements not fulfilled 1 Register the Exchange Trader for an examination and or system training in the Training Portal of Deutsche Borse AG The link will lead you directly to the Training Portal Admission Administrators can book on behalf 2 Apply for an In house Exchange Trader Examination Regarding the final organisation Capital Markets Academy will contact you as soon as possible 3 Enter data on practical experience of the applicant who actively traded for 6 months within the last 2 years Then select the relevant exchange from among a list of all accepted Exchanges world wide and all accepted multilateral trading systems Deutsche Borse AG Electronic Exchange Admission Service eXAS 4 August 2009 Admission Administration Page 10 Log In Process for Capital Markets Academy Data In case there are no examinations and system trainings displayed but you have participated these and you have a username and password for the trainingspo
19. ave a login for the Eurex Member Section or Xetra Floor Members Only area should contact their company s Central Coordinator The Central Coordinator or a deputy will be able to provide the Company Login data with which a new user can begin the personal registration for a Member Section user name and password and request rights for the services that the new user desires The personal admission service part of eXAS does not require specific rights i e all users can access the personal admission menu Exchange Trader applicants must apply for their own admission 3 1 Deutsche Borse AG Electronic Exchange Admission Service eXAS Application for personal Admissions Registrations 05 08 2009 Page 2 Electronical Application Process Admission of Exchange Traders Selection of Markets The user name for the Eurex Member Section or Xetra Floor Members Only area is already linked with the associated company of the applicant and the menu is customized to the user s available options Due to the customization of the menu structure navigation the menu points are pre selected based upon the admission status of the company and the applicant see Pic 1 Menu Structure Navigation eXAS Example 1 If the company is only a member of Eurex the applicant will not see the menu point Frankfurt Stock Exchange Example 2 If the current user is already admitted as an Exchange Trader for Eurex he she will find Eurex only under the menu poin
20. dence is outside of Germany a Mail Agent is required Please select the Mail Authority Data of your Company or fill in your own data If you select the data of your company please insert a name and surname of a natural person Mail Authority Data Please choose between the Mail Authority Data of your Company or fill in your omn data lf you choose the data of your company please inset a name and surname of a natural person E First Mame Last Mame street Number street Supl Country Germany Fost Code City Email Ct accept that without a designation of a authorized receiving agent all documents that are targeted to me will be held as delivered the fth day and all electronical delivered documents the 3rd day after their dispatch Pic 6 Mail Authority After completing entering the personal data the Admission Administrator needs to enter Curriculum Vitae resume data of the future Exchange Trader see Pic 7 CV Resum Deutsche Borse AG Electronic Exchange Admission Service eXAS 4 August 2009 Admission Administration Page 8 Applicant Data First Mame deo Last Name eyl EXAFR City of Birth Mainz Mationality Germany Date of Birth 1 January 1976 Dawtionthir eari Secondary School Education Higher School Education Add Row Delete Selected Row School Mame From To Kensington Prep 06 1990 OB 194 Studies Add Row Delete Selected Row Mame of University From To Cambr
21. e Trader examination and or system training was booked through the Training Portal of Deutsche Borse AG https deutsche boerse com dbag dispatch en kir gdb_navigation trainingscenter 10_Trainingscenter_Portal_ Home the applicant must enter his her Training Portal login and password to log into the Training Portal see Pic 11 Training Portal Log In Process for Capital Markets Academy Data In case there are no examinations and system trainings displayed but you have participated these and you have a username and password for the training portal of the Capital Markets Academy please log in to retrieve all your data Login with another Username M Login with yourtraining portal username and password to retrieve your expertise and practical experience data Pic 11 Training Portal 2 If the Exchange Trader examination and or system training was not booked through the Training Portal of Deutsche B rse AG or the applicant does no longer know the user name and password he she can tick the following checkboxes to retrieve the data at a later point in time see Pic 12 Professional Qualification Belated Data Recall Expertise Refresh Data Please click here to register for an examination LOT contirm that I have previously passed the Exchange Trader Examination within the last 2 years Deutsche Borse AG Electronic Exchange Admission Service eXAS Application for personal Admissions Registrations 05 08 2009 Page 9 Prac
22. idge University oF 14994 08 1998 Employment Histon Add Row Delete Selected Row Employer From Ta Dunder Mifflin Inc 04 2000 06 2006 Commercial Worldwide LLC 06 2006 Til now Other if Others please add here For example Unemployment Sabbatical Add Row Delete Selected Row Other From To Unemployed og 1998 ov 03 2000 F 4 Back Cancel Save Continue fe Print a POF Pic 7 CV Resum Once the future Exchange Trader fulfils the terms and conditions for professional qualification eXAS will display some data automatically see Pic 8 Admission within the last 2 years for at least 12 months Exchange Trader Examination System Training Deutsche Borse AG Electronic Exchange Admission Service eXAS Admission Administration 4 August 2009 Page 9 Mote The following information are required for the admission of Exchange Traders according to paragraph 3 of the Admission Regulations f r Exchange Traders at the Frankfurter Wertpapierb rse and at the Eurex Deutschland Expertise Refresh Data w You are registered for the examination Please click here to register for an examination Practical Experiences Refresh Data i confirm that have been actively trading for 6 month within the last 2 Years You are registered for the System Training System Data Status Date confirmation 6 24 2009 Mame of Qualification AMG Exchange Trader Ex
23. ing System Other Multilateral Trading System From To MONTH YEAR MORITH YEAR 4 Back Cancel Continue Print as POF Pic 13 Practical Experience Once the checkbox l confirm that have been actively trading for 6 months within the last 2 years has been ticked the lists of all Exchanges and multilateral trading system opens automatically 3 6 Deutsche Borse AG Electronic Exchange Admission Service eXAS Application for personal Admissions Registrations 05 08 2009 Page 10 Submission of the Application At the next step the applicant needs to choose one responsible Admission Administrator For this purpose all Admission Administrators that are already registered are listed The applicant may also write a message in the Comments field if required see Pic 14 Selection of Admission Administrator Confirmation Application cy Professional Qualification Admission Administrator Please choose your responsible Admission Administrator First Mame Last Name Approve Martina Beckmann Magda Admin sarah Trader SA Trader PAR 2 Trader Entwickler Test 02 F Entwickler Test 02 L Lite Knoops exas Verteiler Christina Trader Comment Dear Me Admin please give the approval for my application as exchange trader at eurex Kind regards Sarah Trader d Back Cancel Save Submit P Pic 14 Selection of Admission Administrator As soon as the applicant clicks Submit the application wil
24. l be forwarded to the selected Admission Administrator for approval see Pic 15 Confirmation of Submission 4 1 Deutsche Borse AG Electronic Exchange Admission Service eXAS Application for personal Admissions Registrations 05 08 2009 Page ll Confirmation Application cy Professional Qualification Admission Administrator Your Application has been submitted to your Admission Administrator Please be informed that at first your Admission Administrator has to give the approval for your request and afterwards Deutsche B rse Group can proceed Your Reference ID is 20090226 000002 Back To Welcome Pic 15 Confirmation of Submission Once the application has been approved released by the Admission Administrator it is forwarded to Deutsche Borse AG for further processing Electronical Application Process Registration of Qualified Back Office Staff Confirmation of Legal Requirements After selection of the desired application the confirmation page for legal requirements will open All checkboxes are mandatory and must be ticked see Pic 16 Confirmation of Legal Requirements l Confirmation F Application H4 Admission Administrator Currently Logged In User Chi 2 Trader chi 2 traderf exasbank de Confirmation hereby confirm that I am the owner of this user account hereby declare that I have read and acknowrledged the Information Memorandum and the Terms of Use Any information provided in your applica
25. ministrator is authorized to process on behalf the following applications within the menu point Create Application e Application for Admission as an Exchange Trader at the Frankfurt Stock Exchange and the Eurex Exchanges e Application for Registration as a Qualified Back Office Staff at the Eurex Exchanges e Termination of Trader Admission e Termination of Registration of Qualified Back Office Staff Selecting Create Application uploads a table of persons within the company Application on Behalf no 1 Please select an Exchange Trader Create New Person First Name gt Last Name E Mail Address TY o Matthias Daub o VV Alexandra Morelle B lyas Atas o 7 Arhan Nam x Claude Bouchet Row 1 of 120 yi zz Persons with an existing registration for the Member Section are represented with a green tick Persons without a green tick must first be registered in the Member Section for security reasons before an application may be created on their behalf To start registrations for these users simply click on the box on the left of their name then select the option below Create Portal Login and follow the registration process Once the person has verified the registration which you have initiated the green tick will appear next to their name Should a person s name not appear in the list you may select the Create New User button at the top of the table and follow the same registration process described abo
26. mission Deutsche Borse AG Electronic Exchange Admission Service eXAS 4 August 2009 Admission Administration Page 11 Then one responsible Admission Administrator must be selected from the list of all Admission Administrators within the company Here the applicant can add any further information if necessary and send an e mail see Pic 10 Selection of the Admission Administrator Please choose your responsible Admission Administrator First Mame Last Mame Approve Sign Off Magda Admin v v Markus1111 Buechky M K o Markus Buschkya vl a DEO Admin E v DEO Admin O DEO Maintainer C v B Melanie Admin v Kay Admin D m ME CCS NN Comment Dear Ms Admin al Please provide your authorization for this trader to apply for admission He is a new employee and requires admission for this market Thank you Mr Maintainer hd 4 Back Cancel Save Submit T Print as PDF Pic 10 Selection of the Admission Administrator When the Admission Administrator clicks Submit the application will be forwarded to the future Exchange Trader for review and completion of the application 2 4 2 Deutsche Borse AG Electronic Exchange Admission Service eXAS 4 August 2009 Admission Administration Page 12 Qualified Back Office Staff Admission on Behalf For Qualified Back Office Staff Admission on Behalf personal data and Curriculum Vitae Resume data
27. nately it is not possible to show the data during the application process The data will be retrieved later and integrated in the electronic application Submission of the Application At the next step the applicant needs to select one responsible Admission Administrator For this purpose all Admission Administrators that are already registered are listed In the Comments field the applicant may also write a message addressed to the Admission Administrator if required see Pic 21 Selection of Admission Administrator Confirmation Application Admission Administrator Please choose your responsible Admission Administrator First Mame Last Mame Approve Sign Off HH CHO Admin Elle Driver CHO2 Admin E Zurii Admin Zuri2 Admin Zuri3 Admin Udo Brauner K 4 El aA aA OF ad A 0 a AA A O Comment please give the approval for my application for registration as a GEO Kind regards i Zuri20 Trader T Print as PDF Pic 21 Selection of Admission Administrator Deutsche Borse AG Electronic Exchange Admission Service eXAS Application for personal Admissions Registrations 05 08 2009 Page 15 As soon as the applicant clicks Submit the application will be forwarded to the selected Admission Administrator for approval see Pic 22 Confirmation of Submission Confirmation Application cy Professional Qualification Admission Administrator Your Application has been submitted
28. nt Bat enten bak l nere a a e oan teh tania quee caidas 10 4 Electronical Application Process Registration of Qualified Back Office Staff 11 4 1 COntirMmMation 0f Legal REGUIFEMONIS rritaren rr v n ene bd ENARE CRM NE BRA eder 11 4 2 PERSO Mall D OlO rer tedterarorokon bog a 12 4 3 POLES SHON ells OUAI CA Ul N erssssed enes anna ned ar TUES NAN OR 13 4 4 SUDMISSION O tM ADD ICANON erreren 14 5 Hotines ANA SUpPpPOFt s 55sees ssmsm 6 ER Re ER EA AE RK EEK AE EK NER 16 Deutsche Borse AG Electronic Exchange Admission Service eXAS Application for personal Admissions Registrations 05 08 2009 Page 1 Introduction The Electronic Exchange Admission Service eXAS is a service for online application modification and termination of personal admissions and registrations It is accessible via the Eurex Member Section or the Xetra Floor Members Only area This document describes the application process for Exchange Traders at the Frankfurt Stock Exchange Floor XONTRO and Xetra and at the Eurex Exchanges the registration process for Qualified Back Office Staff at the Eurex Exchanges and all termination processes Preconditions To be able to use eXAS access to the Eurex Member Section or Xetra Floor Members Only area is required General explanations of the use of the Eurex Member Section or Xetra Floor Members Only area can be found under Service Point Web User Administration Users who do not yet h
29. nt to subsection 3 3 1 of the Exchange Rules for Eurex Deutschland and Eurex Zurich Eurex Exchange Rules 1 I assure that already have passed an Eurex Clearer Test within the last 3 years Pic 11c Expertiise These different options will not always apply to everyone Applicants must select the option that best describes their situation Should the options that are provided require further explanation the applicant can provide additional comments on the following page prior to submission Deutsche Borse AG Electronic Exchange Admission Service eXAS 4 August 2009 Admission Administration Page 13 Then one responsible Admission Administrator must be selected from the list of all Admission Administrators within the company Here the applicant can add any further information if necessary When the Admission Administrator clicks Submit the application is forwarded to the future Qualified Back Office Staff for review and completion 2 5 Application Overview Within the menu point Application Overview the Admission Administrator has the possibility to see the status of the following applications see Pic 12 Application Overview Application Overview ag Application Overview Reference ID Mame Description Status Created on OK VT 20090619 000017 Elle Driver Trader Admission Registration process Draft by Administrator 194062009 Select action Y OK Eurex Trader 7 20090408 000017 CHO2 Trader Trader Admission
30. o ensure you can be informed in the event of a termination of your admission Email chici 0 trader Gprivat de Admission Data hereby apply for admission as an Exchange Trader with the authorization to conclude options and futures transactions at Eurex Deutschland on behalf of the follayving company ess Bank USA Inc d Back Cancel Continue Pic 4 Private Contact Information Mail Authority If an applicant applies for admission as an Exchange Trader at the Frankfurt Stock Exchange and the applicant s habitual residence is outside of Germany a Mail Agent is required In case the applicant does not have a Mail Agent he she needs to tick the checkbox see Pic 5 Mail Authority Data This requirement does not apply to Eurex applicants Deutsche Borse AG Electronic Exchange Admission Service eXAS Application for personal Admissions Registrations 05 08 2009 Page 5 Mail Authority Data Please choose between the Wail Authority Data of your Company or fill in your owun data lf you choose the data of your company please inset a mame and surname of a natural person ex Bank Inc t1 Metrotech Ctr MUS 11201 3870 Brooklyn First Mame John Last Mame Street Metrotech Ctr M Humber Street Supl Country USA Post Code 11201 3870 City Brooklyn 1 J accept that the admission notification will be assumed as received 3 day s after being sent via email or 7 days after being sent via post in case aven t notif
31. related data as well as company related data Due to the customization of the menu structure navigation the menu points have been pre selected based upon the admission status of the company and the applicant See Pic 2 Menu Structure eXAS Admission Administration Example 1 If the company is only a member of Eurex the Admission Administrator does not see the menu point Frankfurt Stock Exchange Example 2 If the user is only an Admission Administrator for the Frankfurt Stock Exchange but the company is a member of both Eurex and the Frankfurt Stock Exchange he she can only see requests for the Frankfurt Stock Exchange willkommen Service Point Eurex Information etra Information Web User Administration Internet Subscription Service 1557 Technical Services My Admissions Admission Administration b Welcome Create Application Welcome to Electronic Application Overview Admission Overviews Frankfurt stock Exchange Here you can apply change an Exchange Trader Overview add modify and delete User ID Eurex OBO Overview All fields marked with an asteri Exchange Trader Overview Exchange Trader Termination Eurex Frankfurt Stock Exchange BO Termination Eurex s User manuals Pic 2 Menu Structure eXAS Admission Administration Deutsche Borse AG Electronic Exchange Admission Service eXAS 4 August 2009 Admission Administration Page 5 2 4 Admission Overview The Admission Ad
32. rse com DEUTSCHE BORSE XETRA croup Electronic Exchange Admission Service eXAS Admission Administration User Manual Version 2 1 Deutsche Borse AG Electronic Exchange Admission Service eXAS Admission Administration 04 August 2009 Table of Contents Page Table of Contents 2 1 2 2 2 3 2 4 2 4 1 2 4 2 2 5 2 6 2 1 alu goss 7 ja 0 PE EERPRERPEESSEPEREEEEREENEEEEETEEEPEREEEEEENSEEEEEESEETEREEEEREENEEEEETREEEEEETESEEEREREREEEAESERESN 1 Admission AGMINISEFAU ON wei 55566 asia a Ae a RAA SRA ANA RTR ARA AR SARA RATE RANE 1 TENS OLU S ye facto rE teats create NNE VERNON NN RNE 1 Creaton Ora NEw USeRACCOUN acc sena re ware race ncatotcnnnctw ect Be Sko BRENNER Eton e Se 1 STU E OFN GV GU ON sinus ansenaeaameacanaan ane ad E SR SA NN EN 4 Aamo STOR COVER SW a rorevoiebrreradonoretoiernia soiet dte tokenfnenokertronsken a E EEE 5 Exchange Trader Admission ON Behallf cccceccessceveceecceeveeteceeuseresuteueeeuentesgeerentesges 6 Qualified Back Office Staff Admission on Behalf sssssressssrrsrssrrrrrrrrrrrrrrrrrr rr rrrrr rr rr rr rr rdr 12 APPIEGU ON OVENI EW eiiiai a E E RR eeu SRA are we ue ena SRA 13 ROSSON OVENI EW ee te eer ene re or gn ge TEST 14 Termination of Admission of Admitted Registered Persons ssssserrrrrrrrrrrrrrrrrrrrrrrrrrrrrr rss 14 HOUINES and SUPPORT iiicisartinaianaainch aan Hen a rr ANa RAT TUN ONTO 16 Deutsche Borse AG Electronic Exchange Admission Service eXAS 4 August 2
33. rtal of the Capital Markets Academy please log in to retrieve all your data Login with another Username P Expertise Refresh Data System Data Please click here to register for an examination Ci apply for an Inhouse Exchange Trader Examination Here you have the possibilty to apply for an InhouseTraining Examination Regarding the final organisation Capital Markets Academy will contact you as 200n as possible I confirm that have previously passed the Exchange Trader Examination within the last 2 years Practical Experiences Refresh Data System Data _ confirm that have been actively trading for 6 month within the last If selected please specify below 2 Years i apply for an Inhouse System Training Here you have the possibilty to apply for an InhouseTraining Examination Regarding the final organisation Capital Markets Academy will contact you as S00n a possible _ I confirm that have previously attended the System Training Course If you do not have trading experience like those mentioned above please click here to register for system training 4 Back Cancel Save Continue E Print as POF Pic 9 Requirements not fulfilled These different options will not always apply to everyone Applicants must select the option that best describes their situation Should the options that are provided require further explanation the applicant can provide additional comments on the following page prior to sub
34. ssion Service eXAS Application for personal Admissions Registrations 05 08 2009 Page 13 Professional Qualification Based upon the registration history as a Qualified Back Office Staff and previously completed Eurex Clearer Examinations if applicable eXAS will display the following data automatically see Pic 18 Available Qualification The last de registration as a Qualified Back Office Staff is not longer ago than 3 years Already existing registration as a Qualified Back Office Staff for other companies Eurex Clearer Examination with Status Registered Passed Failed xperntise Refresh Data System Data Your last deregistration as Market From To Qualified Back Office staff is not ORC 5 SPE 4099009 older than 3 years You had passed the Eurex Clearer Test within the last 3 years Mame of Qualification Status Date Eurex Clearer Test Passed a 72009 Pic 18 Available Qualification Once data about the professional qualification are available in the system they will be displayed accordingly Grayed out checkboxes with a check mark indicate that the requirements are fulfilled According to the status of the Eurex Clearer Examination an instruction will be shown at the left side of the table see Pic 19 Eurex Clearer Examination Registered Expertise Refresh Data System Data v You are registered for the Eurex Clearer Test Name of Qualification Status Date Eurex Clearer Test Confirmation 3 9 2
35. ssion Service eXAS 4 August 2009 Admission Administration Page 3 Only persons with an existing registration for the Member Section or the Xetra Floor Members Only area are marked by a green tick First select the person you wish to register for the Member Section see Pic 1a Select the option Create Portal Login below This will show you an entry page requesting the personal data name e mail address initial password of the person you wish to register Mandatory fields are marked with an asterisk When finished click Next After defining the personal data pre selected rights are presented You as the Admission Administrator can only give basic rights to access the Member Section and to use eXAS Once the person is registered he she can request additional rights by going to Service Point Web User Administration Additional rights must be approved by the Central Coordinator When finished press Submit The new user will be informed via e mail containing a link for e mail verification By activating the link the registration process is successfully completed Deutsche Borse AG Electronic Exchange Admission Service eXAS 4 August 2009 Admission Administration Page 4 2 3 Structure of Navigation The personal login data for the Eurex Member Section Xetra Floor Members Only area is already linked with the associated company of the applicant This allows us to retrieve all person
36. t Exchange Trader Termination Welcome Service Point Web User Administration Personnel Admission k Welcome Trader Admission Welcome to Electro Eurex Frankfurt Stock Exchange Gualitied Backoffice Staff Registration Pic 1 Menu Structure Navigation eXAS At any page of the electronic application it is possible to go back save all data or print the application Saved applications will be available for six months after the date of creation under the menu point Application Overview see Pic 2 Application Overview Application History Application History Al C Draft only C Resend Only Reference ID Mame Description status Created on of K 20090505 000002 Chi_2 Trader QBO Admission Registration process Draft 0805 2009 Select action Eurex GAO a 20090506 000001 Chi_2 Trader Trader Adimizsion Registration process Dratt 0805 2009 Select action Eurex Pic 2 Application Overview 3 2 3 3 Deutsche Borse AG Electronic Exchange Admission Service eXAS Application for personal Admissions Registrations 05 08 2009 Page 3 Confirmation of Legal Requirements After selection of the desired application the confirmation page will open All three check boxes are mandatory and must be ticked see Pic 3 Confirmation of Legal Requirements Confirmation Application Professional Qualitication Admission Administrator Currently Logged In User furi2z0 Trader Zuri20 traderiiexasbank de
37. t applicants must fill in their Curriculum vitae I Personal Resume information without any gaps on a monthly basis e g Secondary School fram August 2006 to August 2007 Higher School Education fram September 2007 to Your Curriculum vitae I Personal Resume data will be permanently stored for future use and further applications Applicant Data First Mame Chicid Last Mame Trader City of Birth Chicaga Nationality USA Date of Birth 2 January 1987 Day Montheeary Pic 7 Curriculum Vitae Personal Data The system checks automatically if the CV has been completed without any gaps When errors exist within the CV information the system will identify the specific missing information and prompt which fields must be adjusted before moving to the following page screen see Pic 8 Curriculum Vitae Details The minimum required information is Secondary School Education Higher School Education and Employment History Each area requires at least one data record Data crossovers are allowed Secondary School Education Higher School Education Add Row Delete Selected Row School Hame Helene School Studies Add Row Delete Selected Row School Mame University Chicago Employment History JP Morgan Landon Other if Others please add here For example Unemployment Sabbatical Add Rowe Delete Selected Row Others Military Sabbatical q Back Cancel Save Continue
38. tical Experiences Retresh Data confirm that have previously attended the System Training Course lf you d not have trading experience like those mentioned above please click here to register for system training Pic 12 Professional Qualification Belated Data Recall Please note While using this option it is not possible to show the Exchange Trader Exam or System Training course data during the application process The data will be retrieved and integrated in the electronic application at a later point in time Data regarding practical experience can be entered at any time You may choose from lists of all accepted Exchanges worldwide and all accepted multilateral trading systems and enter the time trading experience was gathered see Pic 13 Practical Experience The system will check automatically whether or not the time period of active trading was at least 6 months within the last 2 years Practical Experiences Refresh Data System Data v confirm that have been actively trading for 6 month within the last lf selected please specify below 2 Years CI confirm that have previously attended the System Training Course If you do not have trading experience like those mentioned above please click here to register for system training Exchanges Add Row Delete Selected Row Exchange Other Exchange Frankturt Stock Exchange Multilateral Trading System Add Row Delete Selected Row Multilateral Trad
39. tion will be used for user requested sernrices anly Cancel Continue Pic 16 Confirmation of Legal Requirements 4 2 Deutsche Borse AG Electronic Exchange Admission Service eXAS Application for personal Admissions Registrations 05 08 2009 Page 12 Personal Data The applicant s personal contact information is already available in the system from the registration process for the Eurex Member Section In case the data are not current any longer contact one of Deutsche B rse AG s representative offices see page 16 The applicant can change the Applicant Data details not the private address data himself in My Profile on the welcome page of the Member Section Nevertheless you may continue with your application and change the data afterwards Due to regulatory requirements applicants must provide their private contact information see Pic 17 Private Contact Information Confirmation Application Admission Administrator Applicant Data First Mame Last Mame Trader Phone chi 2 traderi exashank de Private address data street street Road House Number 12 Street Supl Country USA Postcode i Chicago Phone 125 Ext 45675 Fax Ext Please fill in your private email address to ensure you can be informed in the event of a termination of your registration Email chi_2 tradercGiprivate com Pic 17 Private Contact Information 4 3 Deutsche Borse AG Electronic Exchange Admi
40. ve for a new user 2 Create Portal Login for selected Trader Create Portal Login gt Pic 3 Navigation Structure eXAS Admission Administration for Exchange Traders Persons with an existing registration for the Member Section are marked with a green tick Persons without a green tick must first be registered in the Member Section before an application may be created on their behalf To start registrations for these users click on the box on the left of their name then select the below option Create Portal Login and follow the registration process Once the person has verified the registration which you have initiated the green tick will appear next to his her name If a person s name does not appear in the list click on the Create New User button at the top of the table and follow the registration process for a new user as described above see chapter 2 2 After selecting a person from the list all possible application types are shown Select your application type and click on Start Application see Pic 4 Application Forms 2 4 1 Deutsche Borse AG Electronic Exchange Admission Service eXAS 4 August 2009 Admission Administration Page 6 2 Please select an application Gualified Backottice Staff Registration Eurex Exchange Trader Admission Eurex Exchange Trader Admission Frankfurt Stock Exchange 3 Start selected application for the selected Exchange Trader Start Application P Pic
41. y a mail agent above Pic 5 Mail Authority Data When applying for admission as an Exchange Trader at the Frankfurt Stock Exchange traders can select the trading platform they wish to use for trading see Pic 6 Selection of Trading Platforms at the Frankfurt Stock Exchange Here Exchange Traders can only see the trading platforms their associated company has an admission for and for which the Exchange Traders is not admitted yet Admission Data intend to trade through Floor _ ontro I hereby apply f r admission as an Exchange Trader with the authorization to conclude trades at ANB Frankfurter Wertpapierb rse on behalt of the following company exAS Bank AG q Back Cancel Save Continue Pic 6 Selection of Trading Platforms at the Frankfurt Stock Exchange 3 4 Deutsche Borse AG Electronic Exchange Admission Service eXAS Application for personal Admissions Registrations 05 08 2009 Page 6 Curriculum Vitae Resume A feature of the Curriculum Vitae CV page is that all information entered by the applicant is saved and stored for future use so that an applicant will only have to complete the CV page once Additionally Exchange Traders may add change and delete data in their CV see Pic 7 Curriculum Vitae Personal Data lt gt Mote According to the admission regulations for Exchange Traders at the Frankfurter Wertpapierb rse and at the Eures Deutschland paragraph 2a states tha
42. z Michael Peters Andreas Preu Peter Reitz J rg Spillmann ARBN 101 013 361 eurex circular 173 09 eXAS Electronic eXchange Admission Service Since December 15 2008 Eurex has offered the Electronic eXchange Admission Service eXAS in the closed member group the Member Section on its website www eurexchange com By means of this service users can apply for and process admissions registrations and de registrations of exchange traders and Qualified Back Office staff in an easy and efficient way The Electronic eXchange Admission Service gives you the opportunity to initiate and process all relevant steps for admission of individuals from any location worldwide and at any time and track the current status Processing is made electronically thus varying time zones or locations do not matter We are convinced that we will be able to offer you a significantly improved service from December 1 2009 As of December 1 2009 admissions registrations and de registrations of exchange traders and Qualified Back Office Staff will only be possible electronically via eXAS Please make sure that as of this date at least one Admission Administrator and a deputy will be set up for your company We will no longer process applications in paper form All necessary information instructions and guidance for using eXAS is contained in the attached manuals If you have any further questions or require assistance please contact the following support

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